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Amendments

Title：

Taiwan Stock Exchange Corporation Regulations Governing Brokerage Contracts of Securities Brokers  CH

Amended Date： 2023.04.28 
Categories： Basic Laws and Regulations
Market Supervision > Regulation of Securities Firms
Article Content Content Search Article No. Search Legal Basis Subordinate Legislation Amended Article Legislative History Chinese

Title： Taiwan Stock Exchange Corporation Criteria Governing Consignment Contracts of Securities Brokers(2004.07.09)
Date：
Article 15 　After a consigned trade transaction is confirmed, a securities broker shall collect the commission from the principal in accordance with Article 85, Paragraph 1 of the Securities and Exchange Law. The stock exchange shall report the rate of such commissions to the competent authority for approval.
　A securities broker may not arbitrarily raise or lower its commissions, nor offer part or all of the commission as compensation to the referring person connected with the principal's trade, provided that this restriction shall not apply to commissions paid under contract to a foreign financial institution registered and approved for operation of securities business by the competent authority of the country where the institution is located.
The countries of location of such foreign financial institutions as referred to in the preceding paragraph shall be separately prescribed by the Taiwan Stock Exchange Corporation.